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The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida.
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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC.
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Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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Knowledge of the laws applicable to money laundering, terrorist financing, and other applicable financial/securities related crimes (e.g., insider trading, market manipulation), including the Bank Secrecy Act (BSA), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements.
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Software Guidance & Assistance, Inc., (SGA), is searching for a AML Analyst for a CONTRACT assignment with one of our premier Financial Services clients in New Castle, DE. The Senior Compliance Analyst is responsible for managing a caseload of investigations, perform analysis and follow-up and work cases from beginning to completion according to Firm AML procedures and policies.
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Grow your career as an AML Analyst with an innovative global bank in New Castle, DE. Contract role with strong possibility of extension. Advanced proficiency in Microsoft Office (i.e., MS-Word, MS-Excel, MS-Access, MS-PowerPoint and MS-Outlook.
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Certifications: Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA Category: Sales. FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire.
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You have a steadfast commitment to your clients while making a positive impact in the community Certifications : Series 07 – FINRA, Series 63 – FINRA, Series 66 – FINRA. You have a steadfast commitment to your clients while making a positive impact in the community Certifications : Series 07 – FINRA, Series 63 – FINRA, Series 66 – FINRA.
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General understanding of Senior Public Figures, Money Service Businesses, Wealth Management and Retail Banking preferred as well as compliance with those business segments. 1 to 5 years of experience in reviewing customer transactions and information for potentially suspicious activity and performing AML or financial investigations.
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Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. A valid and active FINRA Series 7 license required.
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Must have FINRA Series 65 license or equivalent. The Senior Investment Advisor is responsible for prospecting and engaging clients by formulating comprehensive financial planning, investment management and customized financial solutions provided by Bryn Mawr Capital Management ( BMCM.
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Preparing and filing required regulatory forms with the SEC, FINRA, and other regulatory bodies. Preparing and filing required regulatory forms with the SEC, FINRA, and other regulatory bodies.
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Our Regulatory Consulting team provides expert compliance support for a variety of financial services firms and SEC or FINRA registrants. Develop and implement compliance programs for a variety of registered investment advisers and other SEC or FINRA registrants.
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Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. We assist companies and non-profit organizations in delivering benefits to their employees. Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA.
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finra job in Wilmington, DE
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